Enforcement record

Issuance of Warning Letter disclosure naming FSE証券

FSE証券 (Financial Instruments and Exchange Act)

This page records the name used in a government disclosure. The match to a specific legal entity is unconfirmed, so no company profile, Corporate Number, address, representative, or related-company history is attributed here.

Financial Instruments and Exchange ActFinancial Services Agency and Local Finance BureausEntity match unconfirmed1 June 2026

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 June 2026

Current page: Enforcement record

This screen focuses on one disclosed action and preserves the source name exactly as published. The match to a specific legal entity is unconfirmed; no company profile or company-level history is attributed.

Free report

Save the disclosure record naming FSE証券

Includes the source disclosure name, regulator, governing law, source links, archive status, and an explicit unconfirmed entity-match notice. Company identifiers are omitted.

Preserved evidence by Kiroku

Review the preserved source for FSE証券 (entity match unconfirmed)

Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.

Open preserved source and evidence pack
For developers: JSON integration details

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/api/v1/enforcements?company=FSE%E8%A8%BC%E5%88%B8&limit=10

Action summary

Company
FSE証券Japanese only
Original: FSE証券
Entity match unconfirmed — source disclosure name only.
Entity match
Unresolved entity match60/100Machine checked
Company name extracted from the Japanese public disclosure
Governing law
Financial Instruments and Exchange Act
金融商品取引法
Action type
Issuance of Warning Letter
警告書発出
Action date
1 June 2026
Issuing authority
Financial Services Agency and Local Finance Bureaus
金融庁・財務局
Industry context
無登録金融商品取引業者(国内)

Violation

Machine-translated summary — verify against original

The entity displayed that it conducts financial instruments business on a free email account, using the names [FSE Securities], [Fidelity Securities Exchange], and the registration number [Kanto Financial Bureau Director (Kinsho) No. 152], which was falsely claimed as the registration number of a financial instruments business operator. Fidelity Securities Co., Ltd., which is registered with the number [Kanto Financial Bureau Director (Kinsho) No. 152], has confirmed that it has no relation to the entity in question.

Show original Japanese text

フリーメール上に金融商品取引業を行う旨を表示したもの 当該業者は、フリーメール上で「FSE証券」、「Fidelity Securities Exchange」、「関東財務局長(金商)第152号」等と表示し、財務局の登録番号を詐称していた。 なお、「関東財務局長(金商)第152号」は、登録を受けた金融商品取引業者である「フィデリティ証券株式会社」の登録番号であるが、フィデリティ証券株式会社が当該業者とは一切関係がない旨確認している。

Compliance context

Context needed

This is a public Japanese regulatory disclosure. The exact legal effect depends on the cited source and regulator.

Financial markets law covering securities, investment services, disclosure, and market conduct.

Review the original Japanese source and determine relevance to your counterparty-risk workflow.

This context is an operational aid for review workflows, not a credit opinion or legal conclusion.

Evidence pack

Original Financial Services Agency and Local Finance Bureaus source (Japanese)Open preserved source and evidence pack
Extracted at
2026-06-25T15:43:53.279+00:00
Evidence checked
2026-06-25T15:43:53.279+00:00
Archive captured
2026-06-19T18:31:06.606588+00:00
Show audit JSON
{
  "record": {
    "id": "37a9fe39-adf0-4f8c-89d4-7c08686e15d4",
    "url": "https://regbase.jp/en/enforcement/kinshoho-fsezheng-quan-20260601",
    "company_name_original": "FSE証券",
    "company_name_registry": null,
    "corporate_number": null,
    "law": {
      "ja": "金融商品取引法",
      "en": "Financial Instruments and Exchange Act"
    },
    "action_type": {
      "ja": "警告書発出",
      "en": "Issuance of Warning Letter"
    },
    "authority": {
      "ja": "金融庁・財務局",
      "en": "Financial Services Agency and Local Finance Bureaus"
    }
  },
  "entity_match": {
    "status": "unresolved",
    "confidence": 60,
    "method": "extracted_japanese_name",
    "method_label": "Company name extracted from the Japanese public disclosure",
    "notes": "The linked company profile has not been verified under the current identity policy."
  },
  "review": {
    "status": "machine_reviewed",
    "label": "Machine checked"
  },
  "compliance_context": {
    "severity": "Context needed",
    "actionMeaning": "This is a public Japanese regulatory disclosure. The exact legal effect depends on the cited source and regulator.",
    "practicalNote": "Review the original Japanese source and determine relevance to your counterparty-risk workflow.",
    "lawContext": "Financial markets law covering securities, investment services, disclosure, and market conduct."
  },
  "evidence": {
    "recordUrl": "https://regbase.jp/en/enforcement/kinshoho-fsezheng-quan-20260601",
    "officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
    "officialDocumentUrl": null,
    "archiveUrl": "https://kiroku.today/a/9fa660712el9kyh0",
    "archivedSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
    "archiveCapturedAt": "2026-06-19T18:31:06.606588+00:00",
    "extractedAt": "2026-06-25T15:43:53.279+00:00",
    "translatedAt": "2026-07-06T04:21:45.561+00:00",
    "evidenceCheckedAt": "2026-06-25T15:43:53.279+00:00",
    "generatedAt": "2026-07-12T18:29:17.987Z"
  },
  "limitations": [
    "RegBase aggregates public Japanese government disclosures and does not provide a credit opinion.",
    "English summaries are provided for reference. The original Japanese source is authoritative.",
    "Possible or unresolved entity matches should be manually verified before use in a decision."
  ]
}

The original Japanese disclosure is the authoritative record. Use possible or unresolved matches only as leads for manual review.

About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.